Personnel SFC Licences and HKMA Registrations (ID 83237)

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Providing automated trading services	2011-03-22	2023-08-15
HSBC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2008-11-19	2018-08-31
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2008-04-18	-
Virtu ITG Hong Kong Limited	Rep	Providing automated trading services	2004-03-01	2008-04-14
	Rep	Dealing in securities	2004-03-01	2008-04-14
HOENIG (FAR EAST) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-02-19
	Rep	Advising on securities	2003-04-01	2004-02-19
	Rep	Asset management	2003-04-01	2004-02-19
	Rep	Dealing in securities	2003-04-01	2004-02-29

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

HKMA registration number: AD8502

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
香港上海滙豐銀行有限公司	Dealing in securities	Non-EO	MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR	2008-04-18	—	Current
香港上海滙豐銀行有限公司	Advising on securities	Non-EO	MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR	2008-04-18	—	Current
HSBC BANK PLC	Dealing in securities	Non-EO	—	2022-05-20	2025-05-30	Former
HSBC BANK PLC	Advising on securities	Non-EO	—	2022-05-20	2025-05-30	Former